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SEC Sues UK-Based Trader For Account Intrusion Scheme

Date 22/06/2016

The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock trades that allowed him to profit on trades in his own account.
Former Swiss Banker Pleads Guilty To Conspiring With U.S. Taxpayers And Other Swiss Bankers To Defraud The United States

Date 22/06/2016

A former Credit Suisse AG banker, who has been a fugitive since 2011, pleaded guilty today in U.S. District Court in the Eastern District of Virginia to charges related to aiding and assisting U.S. taxpayers in evading their income taxes, announced Acting Assistant Attorney General Caroline D. Ciraolo of the Justice Department’s Tax Division and U.S. Attorney Dana J. Boente of the Eastern District of Virginia.
After UBS Produces Singapore-Based Documents, Justice Department Dismisses Summons Case

Date 22/06/2016

UBS AG has complied with an Internal Revenue Service (IRS) summons for bank records held in its Singapore office, the Justice Department announced today. Because UBS has now produced all Singapore-based records responsive to the request and the IRS determined that UBS complied with the summons, the Justice Department has voluntarily dismissed its summons enforcement action against the bank.
Office Of The Comptroller Of The Currency: Beverly F. Cole Named Deputy Comptroller For Compliance Supervision

Date 22/06/2016

The Office of the Comptroller of the Currency today announced Beverly F. Cole will become its Deputy Comptroller for Compliance Supervision.
UN Global Compact Recognizes Press And Sustainability Managing Director Of BM&FBOVESPA S.A. As A 2016 Local SDG Pioneer - Sonia Consiglio Favaretto Honored As A Pioneer For Sustainable Stock Exchanges

Date 22/06/2016

Today at the UN Global Compact Leaders Summit 2016 in New York, Sonia Consiglio Favaretto, press and sustainability managing director of BM&FBOVESPA S.A., was announced as one of ten 2016 Local SDG Pioneers. Ms. Favaretto was recognized for her efforts that align with Sustainable Development Goal (SDG) 8 on Decent Work and Economic Growth.

CFTC Swaps Report Update

Date 22/06/2016

The CFTC Swaps Report provides a detailed weekly snapshot of the gross notional outstanding as of the penultimate Friday prior to the CFTC Swaps Report’s Wednesday publication date, as well as a detailed weekly total of the transaction volume (on both a ticket volume and dollar volume basis) ending that same penultimate Friday, in two asset classes (interest rate swaps, credit default swaps).
SIX: Network Issues Now Rectified

Date 22/06/2016

As announced earlier today, the cause of the network problems that occurred over the past two days have now been identified and rectified by SIX. The systems operated by SIX have been stable all day and normal operations have been resumed.
Competition Policy In Financial Markets – The View From The Regulators - Speech By Mary Starks, Director Of Competition, FCA, Delivered At The Centre For Competition Policy (CCP) Conference On 10 June In Norwich

Date 22/06/2016

I am delighted that the Centre for Competition Policy has dedicated this year’s conference to Competition Policy in Financial Markets – with a title so relevant to my job, my hopes are high for the next 2 days. I am greatly looking forward to hearing from the line-up of distinguished speakers, not to mention views from what looks like a rather intelligent and discerning audience.
IPOready Companies Graduate From Irish Stock Exchange Leadership Programme

Date 22/06/2016

High-potential companies have graduated from #IPOready, the Irish Stock Exchange’s leadership programme for executives, which enhances skills in raising capital, investor relations and business management. Chief Executive Officers (CEOs) and Chief Financial Officers (CFOs) from a range of sectors including technology, security, food and printing took part in the 15-month programme.
Federal Court Orders Dante S. Giovannetti And His Companies Emini Experts, LLC And Capital Trading Concepts LLC To Pay Over $2.7 Million In Restitution And Monetary Penalties For Commodity Pool Fraud And Other Violations Of The Commodity Exchange Act - Relief Defendant Capital Futures LLC, Another Company Owned By Giovannetti, Ordered To Disgorge Ill-Gotten Funds - In A Related Criminal Action, Giovannetti Was Sentenced To 63 Months In Prison

Date 22/06/2016

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Paul G. Byron of the U.S. District Court for the Middle District of Florida (Orlando Division) entered a Default Final Judgment Order against Defendants Dante S. Giovannetti and his companies Emini Experts, LLC(Emini) and Capital Trading Concepts LLC (Capital Trading) for defrauding clients in connection with the operation of a commodity trading pool. The court’s Order requires Giovannetti, Emini, and Capital Trading jointly to pay $663,975 to defrauded customers as restitution for their losses and jointly to pay a $1,991,926 civil monetary penalty. The Order also separately imposes jointly against Emini and Giovannetti an additional $140,000 civil monetary penalty. The court also ordered Relief Defendant Capital Futures LLC, another company owned by Giovannetti, to disgorge $143,358 of ill-gotten gains.